Securities Enforcement Actions

TitleOrder#Issue Date
collapse Agreement-CategoryCease and Desist Orders
Michael B. AndersonLS-17-260611/2/2017
B&B Energy of New OrleansLS-17-24366/21/2017
David A. BrewerLS-17-24366/21/2017
Richard RaffLS-17-22686/19/2017
JWM VenturesLS-16-20245/22/2017
Angeles Fields Partners, LLCLS-16-20245/22/2017
John McDonaldLS-16-20245/22/2017
Solie Grace, LLCLS-16-20245/22/2017
collapse Agreement-CategoryCease and Desist Orders (Summary)
Brant RayLS-15-16064/12/2017
collapse Agreement-CategoryConsent Agreements and Consent Orders
SameDay Security, Inc.LS-15-14926/16/2016
collapse Agreement-CategoryConsent Orders
Jon R. MyersLS-17-26182/22/2018
American WealthLS-16-21187/5/2017
William D. ChancellorLS-17-22916/21/2017
Steven K. SavellLS-15-15307/26/2016
collapse Agreement-CategoryMiscellaneous Orders
Brookshire Securities CorporationS-07-03624/29/2009
Brookstreet Securities CorporationS-07-0647, S-07-0657, S-07-06583/7/2008
collapse Agreement-CategoryOrders
SoBell Corp., BAIC, Inc., Voyager Financial Group, LLC and Andrew Gamber, IndividuallyLS-16-18912/23/2017
Stifel, Nicolaus & Company, Incorporated, CRD #793; and Lanis Dale Noble, CRD #858008LS-14-0977-A and -B; LS-15-1435; LS-15-14631/4/2017
Hilary J. Zimmerman CRD #2191841LS-12-0454-C11/16/2016
Morgan Stanley Smith Barney LLCLS-12-04548/9/2016
Frederick M. AbrahamLS-15-14345/19/2016
Fred E. BristerLS-12-0405-B5/19/2016
Steven M. WyattLS-12-0454-A3/31/2016
LPL Financial, LLCLS-15-149711/24/2015
Nick L. Morgan LS-15-13999/8/2015
Citigroup Global Markets Inc.LS-15-13768/6/2015
LPL Financial, LLCLS-15-13627/6/2015
Leo Thomas Landry, IIILS-15-13977/6/2015
Eduardo Guillermo Diaz LS-14-05431/27/2015
Marshall Wolfe and Jack HarringtonS-09-01871/21/2015
Ralph H. Moore, JrLS-14-102212/18/2014
Dondi CottonLS-12-054710/27/2014
Marshall Wolfe and Jack HarringtonS-09-01877/7/2014
Gina H. Palasini aka Tammi Henderson Palasini d/b/a Medicaid Planning Specialists, Inc.LS-13-07307/4/2014
J.P. Morgan Securities, LLCLS-14-09896/20/2014
Watkins Development, LLC/David Watkins, Individually and as Manager of Watkins Development, LLCLS-13-06083/24/2014
Sanders Morris Harris Inc. and Ralph LordLS-11-01673/24/2014
Eduardo Guillermo Diaz/Diaz Retirement ConsultantsLS-13-08622/4/2014
RBC Capital Markets, LLCLS-13-073210/31/2013
UBS Financial Services Inc. LS-13-076210/2/2013
Gina PalasiniLS-13-07307/31/2013
Gina PalasiniLS-13-07307/31/2013
Vasana Tonore aka Vasana Maher aka Vasana ReelS-12-0332; LS-13-07086/18/2013
Vasana Tonore aka Vasana Maher aka Vasana ReelS-12-03322/15/2013
Cambridge Investment Research, Inc. S-11-025911/19/2012
UVEST Financial Services Group, Inc.LS-12-046410/2/2012
ProEquities, Inc.LS-12-04679/26/2012
Danny Chancellor, individually and as Malachi Financial, LLCS-11-02599/18/2012
Bankers Life and Casualty Company and BLC Financial Services, Inc.LS-12-04668/29/2012
E*Trade Securities LLCS-12-04673/20/2012
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